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Showing 171 to 180 of 241 search results for identification and management of conflicts of interest.

  1. Market abuse in a time of coronavirus

    Speeches Published: 12/10/2020 Last modified: 12/10/2020
    Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

  2. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

  3. TR15/7: Delegated authority: Outsourcing in the general insurance market

    Thematic reviews Published: 02/06/2015 Last modified: 02/06/2015
    In many cases, insufficient focus and consideration has been given to how the interests of customers might be impacted by outsourcing.

  4. Good conduct and market integrity

    Speeches Published: 02/06/2014 Last modified: 11/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. UK EMIR news

    Markets policy Published: 22/05/2016 Last modified: 19/06/2024
    Read our archive of news relating to EMIR dating back to August 2013.

  6. The drive for data in Non-Bank Financial Intermediation (NBFI)

    Speeches Published: 16/05/2023 Last modified: 16/05/2023
    Speech by Ashley Alder, FCA Chair, delivered at the Managed Funds Associations’ Global Summit

  7. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Our approach to international firms

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

  9. PS17/23: Reforming the availability of information in the UK equity IPO process

    Policy statements Published: 01/03/2017 Last modified: 26/10/2017
    We are setting out a package of measures intended to improve the range, quality and timeliness of information that is available to investors during the UK equity IPO process.

  10. Internal investigations by firms

    Speeches Published: 05/11/2015 Last modified: 05/11/2015
    Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ